Corporate Compliance Specialist

3 days ago

Ahmedabad, Gujarat, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,50,00,000
Compliance Officer

Seeking an expert in regulatory compliance to oversee day-to-day activities and ensure adherence to all applicable laws, regulations, and guidelines.

Key Responsibilities:
  • Regulatory Compliance:
    • Ensure ongoing compliance with relevant authorities' requirements.
    • Monitor and interpret changes in laws, regulations, and guidelines.
    • File mandatory reports within stipulated timelines.
  • Fund & Operational Oversight:
    • Review AMC activities for alignment with compliance policies.
    • Assess product documents (SID, KIM, Fact Sheets) for regulatory adherence before launch or update.
    • Oversee compliance processes related to fund accounting, NAV disclosure, and investor servicing.
  • Internal Controls & Risk Management:
    • Develop and implement compliance frameworks, SOPs, and internal controls.
    • Conduct periodic audits and risk assessments across departments.
    • Investigate potential violations and recommend corrective actions.
  • Training & Awareness:
    • Conduct awareness sessions for employees and key stakeholders.
    • Support the team in understanding new regulatory developments.
  • Stakeholder Coordination:
    • Liaise with relevant authorities, auditors, and internal teams for inspections, queries, and audits.
    • Maintain updated compliance records, correspondence, and documentation.
Qualifications & Experience:
  • Bachelor's or Master's degree in Law, Finance, Commerce, or related field.
  • 5-10+ years of experience in a compliance role within an AMC, mutual fund, or related financial services sector.
  • Strong knowledge of SEBI Mutual Fund Regulations and regulatory frameworks.
  • NISM certification preferred.
Skills & Attributes:
  • Attention to detail with excellent analytical and problem-solving skills.
  • Strong verbal and written communication.
  • High ethical standards, integrity, and ability to handle confidential matters.

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